senior leadership ethics training - texas

Senior Leadership Ethics Training

Texas Military Forces, General Counsel’s Office COL Bentley A. Nettles 1 COL Nettles, NGTX-GC, 9 Oct 14

Ethics & Values

•Ethics

•Our Values

Leadership

•Leading an Ethical Environment

•Pressure to Conform

Regulation

• Conflicts of

Interest

• Gifts

• Social Events

• Travel

Agenda

2 COL Nettles, NGTX-GC, 9 Oct 14

STOP

THINK

ASK

IN Conclusion………….

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Ethics & Values

Laws & Regulations

Values

Policy and Procedure


Laws & Regulations

Values

Policy and Procedure

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“That’s Unethical!” Buzzword Philosophical Ethics Attempts to determine or define what kinds of actions are right or wrong in particular circumstances

Applied Ethics Business and Military Guides individuals to act in a manner consistent with the defined requirements and organizational values. Is relevant to the conduct of individuals and entire organizations.

COL Nettles, NGTX-GC, 9 Oct 14

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An Ethical Dilemma

A Question of Loyalty? Loyalty

to myself

and family

When reporting concerns, it is common for individuals to experience fear & to feel conflicted when multiple loyalties come into play


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What are Ethical Values?

Ethics are standards by which one should act based on VALUES Relate to

what is right and wrong

Demand that our actions not only

comply with law but promote public

confidence

Are core beliefs that motivate

attitudes and actions

Review JER, Chapter 12, Section 4 “Ethical Values” (e.g., candor, accountability, fairness)


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Our Core Values 14 Ethical Principles

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Our Core Values

• Loyalty • Duty • Respect • Selfless Service • Honor • Integrity • Personal Courage

• Integrity First

• Service Before Self

• Excellence in All We Do


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14 Ethical Principles

Public Service is a public trust, requiring employees to place loyalty to the Constitution, the laws and ethical principles above private gain.

Employees shall not hold financial interests that conflict with the conscientious performance of duty.

Employees shall not engage in financial transactions using nonpublic Government information or allow the improper use of such information to further any private interest.

An employee shall not, except as permitted by law or regulation, solicit or accept any gift or other item of monetary value from any person or entity seeking official action from, doing business with, or conducting activities regulated by the employee’s agency, or whose interests may be substantially affected by the performance or nonperformance of the employee’s duties.


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Employees shall put forth honest effort in the performance of their duties.

Employees shall not knowingly make unauthorized commitments or promises of any kind purporting to bind the Government.

Employees shall not use public office for private gain.

Employees shall act impartially and not give preferential treatment to any private organization or individual.


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Employees shall protect and conserve Federal property and shall not use it for other than authorized activities.

Employees shall not engage in outside employment or activities, including seeking or negotiating for employment, that conflict with official Government duties and responsibilities.

Employees shall disclose waste, fraud, abuse, and corruption to appropriate authorities.

Employees shall satisfy in good faith their obligations as citizens, including all just financial obligations, especially those—such as Federal, State, or local taxes—that are imposed by law.


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Employees shall adhere to all laws and regulations that provide equal opportunity for all Americans regardless of race, color, religion, sex, national origin, age, or handicap.

Employees shall endeavor to avoid any actions creating the appearance that they are violating the law or the ethical standards set forth in this part. Whether particular circumstances create an appearance that the law or these standards have been violated shall be determined from the perspective of a reasonable person with knowledge of the relevant fact


Leadership


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What Leadership Sounds Like

“If you’re not up to it, find something else to do with your life. There is no place for you amongst this band of brothers and sisters,”

“Those who think that it is okay to behave in a way that demeans or exploits their colleagues have no place in this Army.”

“I will be ruthless in ridding the Army of people who cannot live up to its values and I need every one of you to support me in achieving this.”

"If that does not suit you, then get out!"

“If you become aware of any individual degrading another, then show moral courage and take a stand against it.”

Lieutenant General David Lindsay Morrison


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Setting the Ethical Climate

Set the stage Remind your team about core values. Highlight a core value at stake if a proposed action is taken, (e.g., loss of public trust in the integrity of DoD business processes).

Question: How do you as Leaders “own” the ethical climate of your organization?

•Loyalty •Duty •Respect •Selfless Service •Honor •Integrity •Personal Courage

•Integrity First

•Service Before Self

•Excellence in All We Do


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Clearly uphold ethical expectations.

Be sensitive to and address “good intentions.”

Hold self and others accountable. “Lead by Example” does not only belong at the top.

Publicly comment on individual integrity, courage, and candor.


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Kick off annual ethics with a values and Ethical decision

making message; the imperative to “do the right thing”; use real

world vignettes

Identify incidents of personal courage, selfless service,

integrity, protecting the federal fisc, speaking truth to power, etc. so that you can commend such

conduct at official functions.

Give an ethics message about core values at your regular

senior staff meetings.

Video-tape a message about ethical decision-making and

fundamental values.

Setting the Ethical Tone

Ask your team to partner with you in setting the ethical tone for the organization.


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The Character that Takes Command The character that takes command in moments of crucial choices has already been determined. It has been determined by a thousand other choices made earlier in seemingly unimportant moments. It has been determined by all the little choices of years past by all those times when the voice of conscience was at war with the voice of temptation whispering the lie that it really doesn't matter. It has been determined by all the day-to-day decisions made when life seemed easy and crises seemed far away from the decisions that, piece by piece, bit by bit, developed habits of discipline - or of laziness, habits of self-sacrifice - or of self-indulgence, habits of duty and honor and integrity - or dishonor and shame. Ronald Reagan, The Citadel, May 15, 1993


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Would your Team conform? “the essence of conformity is yielding to group pressure”

Normative Conformity

• Yielding to group pressure to fit in

• Scared of being rejected by group

• Publicly accepts the views of group but privately rejects them

Informal Conformity

• Person lacks knowledge & looks to group for guidance

• Person in an unclear situation & socially compares their behavior w/ group

• Person accepts views of groups & adopts them as an individual

Compliance

• Publicly changing behavior to fit in w/ group while privately disagreeing

• Conforming to majority (publicly), in spite of not really agreeing with them (privately)

Ingratiational Conformity

• Person conforms to impress or gain favor/ acceptance from others

• Motivated by the need for social rewards


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Would your Team conform?

• FACT: 75% conform • Asch Conformity Experiments Result

• Yes, your team WILL conform Answer

• What example is being presented for your team to conform to? Question

• Leadership at all levels • By your actions, provide exemplary

Air & Army Values and Behaviors Action


Regulation

Conflicts of

Interest

Gifts

Widely Attended

Gatherings (WAGS)

Travel

5 CFR §2635


Conflicts of Interest (COI)

Federal Conflict of Interest Statutes

18 U.S.C. §§ 201 - 211 18 U.S.C. § 216 18 U.S.C. § 219 5 C.F.R. 2635, Subparts D,E,F 5 C.F.R. 2640 5 U.S.C. app. 4 §§ 401-408 5 U.S.C. app. 4 §§ 501-505 DoD 5500.7-R (JER), Chapters 2,3, & 5


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COI Defined

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Conflict of Interest is a:

personal interest or

relationship,

as defined by law or

regulation,

that conflicts with the faithful performance of

official duty.


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Primary Conflict Types

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Personal Professional

Financial Prejudicial

Sources of Conflict of Interest


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You Have a Covered Relationship With

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Organizations in which you are an active member

A person with whom you have or seek a business, contractual or other financial relationship

Members of the household & relatives with whom you have a close personal relationship

Former business partners, clients, and employers

A person for whom your spouse, parent or dependent child serves as an officer, director, trustee, general partner agent, attorney, consultant, contractor or employee


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A Non-Federal Entity is any organization or individual outside the Federal Government

• Charities & not-for-profit groups • Churches & congregations • Professional associations • Local & state governments (not always regarding Guard units) • Spouses’ clubs • Unit booster clubs • Commercial enterprises • And many, many more!

Non-Federal Entities


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“Impartiality Rule” Test

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Broader application and reach than the criminal conflict of interest statute

likely to have a direct and predictable effect on the

financial interests of a member of your household

a person with whom you have a covered relationship is (or

represents) a party involved AND

the circumstances would cause your impartiality to questioned

You are disqualified from participating in a particular matter when :

(5 C.F.R. § 2635.502 )


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COI Statute: 18 U.S.C. § 208

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This is a criminal statute!

18 U.S.C. § 208


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COI Statute: 18 U.S.C. § 208

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You may not participate personally and substantially through decision, approval, recommendation, advice, investigation or otherwise

In a judicial proceeding, application, ruling, determination, contract, claim, controversy, charge, or other particular matter

In which you or your spouse, minor child, partner, organization in which you are an officer or employee, or company with whom you are negotiating for employment

Have a financial interest


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COI Resolution

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Disqualification (recusal)

Regulatory exemptions

Individual waiver

Waiver for Special Government Employees

Reassignment Change of duties

Divestiture of the financial interest

If possible, spot and avoid COI. If unavoidable…


Gifts


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A Gift = Anything of Value

Cash, Tangible Items

Any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or any other item having monetary value

Includes services

Includes gifts of training, transportation, travel, lodging, and meals


Is it a Gift?

Why did they offer gift?

Does an exclusion apply?

Does and exception

apply?

Is there an appearance problem?

Do we decline?

How do we decline?

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Gift Overview

UNCLASSIFIED COL Nettles, NGTX-GC, 9 Oct 14

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Foreign Gifts

No solicitation of gifts

Individual may accept gift of “minimal value” (retail value in U.S. at time of acceptance of $350 or less)

Must aggregate: • Multiple gifts from donor

at single presentation • Gifts to spouse is a gift to

the service member


Social Events

Widely Attended Gatherings (WAGS)


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Widely Attended Gatherings (WAGS)

NOTE: Does NOT include travel or accommodation costs.

Means:

• Numerous Attendees

• Attendees represent a diversity of views & interests


Acceptance will further the programs,

operations, & policies of the particular command or organization to which

the employee is assigned

Acceptance will not undermine the integrity of

NGB’s operations or programs.

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Determine Whether You Can Attend


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Acceptance Not in NGB’s Interest

• Person or organization who has extended the invitation has interests that may be affected by the performance or nonperformance of your official duties

Do you have oversight of a

contract pertaining to the

organization extending the

invitation?


Travel


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Travel

Local Travel

MilAir: Official Travel

MilAir: Official Events

MilAir: Unofficial

Travel

Limited Spouse Travel

Gift of Travel

Modes of transportation considered

When travel needs prevent commercial aircraft use

Funerals, retirements Change of Command ceremonies

Payment from a Non-Federal Source 31 U.S.C. §1353

Used by others for non-official business


5 C.F.R. Part 2635 Standards of ethical conduct for employees of the executive branch

5 §2635.101 Basic obligation of public service

10 U.S.C. §2601/2608 Gifts to Government

DOD Directive 4500.56

31 U.S.C. § 1353 Travel Payments

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References

DOD Directive 4500.56

18 U.S.C. § 201 -

211

5 CFR §2635


STOP

THINK

ASK

IN Conclusion………….


COL Bentley Nettles / Senior Ethics Counselor 512-782-5057 [email protected]

LtCol Sonya Batchelor/ Alt. Senior Ethics Counselor 512-782-5057 [email protected]

Program Point of Contact

If you have a question regarding a specific issue, please feel free to contact NGTX-GC Ethics Program personnel [email protected]


mailto:[email protected]





Questions?


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